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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Thomas Rutter is a financial advisor with over 40 years of experience in the financial services industry. Theodore is currently registered with UBS Financial Services Inc. and holds multiple licenses and certifications including Series 3, 7, 9, 10, 15, 63, and 65. Prior to joining UBS Financial Services Inc., Theodore worked at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.. Theodore specializes in a variety of investment products and services including securities, mutual funds, variable annuities, life insurance, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
10/31/2008 - Present
UBS Financial Services Inc. (La Jolla CA)
CA
04/02/2007 - 11/05/2008
MORGAN STANLEY & CO. INCORPORATED (LA JOLLA CA)
CA
09/05/1984 - 04/02/2007
MORGAN STANLEY DW INC. (LAJOLLA CA)
NA
05/10/1984 - 09/28/1984
BECKER PARIBAS INCORPORATED
NA
08/30/1982 - 04/26/1984
DEAN WITTER REYNOLDS INC.
IA
Issued 05/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1999
Series 5 - Interest Rate Options Examination
BC
Issued 07/14/1998
Series 15 - Foreign Currency Options Examination
BC
Issued 12/04/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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